Form 4 for CXM Sprinklr, Inc.
Accepted 2023-11-21 00:00:00 ET · period of report 2023-11-17 · accession 0001209191-23-056250 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2023-11-21 | 2023-11-17 | CXM | Agrawal Neeraj | Dir, 10% | C - Cnv Deriv | — | +10.00M | 117.5K | New | — |
| DMI | 2023-11-21 | 2023-11-17 | CXM | Agrawal Neeraj | Dir, 10% | C - Cnv Deriv | $0.00 | -10.00M | 10.63M | -48% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2023-11-17 | C | A | 9,901,000 | — | 11,936,367 | I By Battery Ventures IX, L.P. | — | — | (F1) These shares of Class B common stock were converted on a one-for-one basis into Class A common stock. (F2) Securities are held by Battery Ventures IX, L.P. ("BV IX"). BP IX is the general partner of BV IX. The Reporting Person is a managing member of BP IX and may be deemed to share voting and dispositive power over these securities. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose. |
| 2 | Common | Class A Common Stock | 2023-11-17 | C | A | 99,000 | — | 117,464 | I By Battery Investment Partners IX, LLC | — | — | (F1) These shares of Class B common stock were converted on a one-for-one basis into Class A common stock. (F3) Securities are held by Battery Investment Partners IX, LLC ("BIP IX"). BP IX is the managing member of BIP IX. The Reporting Person is a managing member of BP IX and may be deemed to share voting and dispositive power over these securities. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose. |
| 3 | Derivative | Class B Common Stock | 2023-11-17 | C | D | 99,000 | $0.00 | 106,335 | I By Battery Investment Partners IX, LLC | — · — to — | 99,000 Class A Common Stock | (F7) Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the Reporting Person; and (3) the final conversion date, defined as the first trading day on or after the date on which the outstanding shares of Class B Common Stock represent less than 5.0% of the Issuer's then-outstanding Class A and Class B Common Stock to certain timing criteria. (F3) Securities are held by Battery Investment Partners IX, LLC ("BIP IX"). BP IX is the managing member of BIP IX. The Reporting Person is a managing member of BP IX and may be deemed to share voting and dispositive power over these securities. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose. (F1) These shares of Class B common stock were converted on a one-for-one basis into Class A common stock. |
| 4 | Derivative | Class B Common Stock | 2023-11-17 | C | D | 9,901,000 | $0.00 | 10,634,367 | I By Battery Ventures IX, L.P. | — · — to — | 9,901,000 Class A Common Stock | (F7) Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the Reporting Person; and (3) the final conversion date, defined as the first trading day on or after the date on which the outstanding shares of Class B Common Stock represent less than 5.0% of the Issuer's then-outstanding Class A and Class B Common Stock to certain timing criteria. (F2) Securities are held by Battery Ventures IX, L.P. ("BV IX"). BP IX is the general partner of BV IX. The Reporting Person is a managing member of BP IX and may be deemed to share voting and dispositive power over these securities. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of for any other purpose. (F1) These shares of Class B common stock were converted on a one-for-one basis into Class A common stock. |